Broker-Dealer Advisory & Counseling

Mark M. Attar attorney profile image

Washington, DC

T: (202) 661-7021
F: (202) 661-7059
Eric A. Bensky attorney profile image

Washington, DC

C: (202) 819-4883
T: (202) 220-1937
Larry E. Bergmann attorney profile image

Washington, DC

C: (202) 480-7222
T: (202) 661-7032
F: (202) 661-7059
Mauricio S. Beugelmans attorney profile image

San Francisco, CA

C: (415) 308-2987
T: (415) 651-5707
F: (415) 651-5708

New York, NY

T: (212) 880-3984
Meghan J. Carey attorney profile image

Washington, DC

T: (202) 661-7016
F: (202) 661-7059
Christina M. Hill attorney profile image

Washington, DC

C: (202) 480-5278
T: (202) 661-7017
F: (202) 661-7059
Robert P. Howard, Jr. attorney profile image

Washington, DC

C: (202) 480-7326
T: (202) 661-7015
F: (202) 661-7059
Joseph C. Lombard attorney profile image

Washington, DC

C: (312) 543-7750
T: (202) 661-7028
F: (202) 661-7059
Thomas J. McGonigle attorney profile image

Washington, DC

C: (202) 680-4941
T: (202) 661-7010
F: (202) 661-7059

New York, NY

T: (212) 880-3624
Paul A. Merolla attorney profile image

New York, NY

C: (646) 522-3529
T: (212) 880-3960
F: (212) 922-2870
Brian M. Walsh attorney profile image

Washington, DC

C: (202) 480-5921
T: (202) 661-7030
F: (202) 661-7059
For more information visit Our Team page.

Looking Forward

In 2020, securities regulators likely will focus on issues relating to new digital currency products, interpretive advice on new Regulation BI, cybersecurity compliance, implementation of the amendments to Rule ATS, financial responsibility compliance, new uses of blockchain and artificial intelligence technologies in trading and trade processing, conflicts of interest and best execution, and decisions on trading rule pilots. The SEC and FINRA likely will increase focus on cybersecurity policies and procedures as well as continue to investigate compliance with anti-money laundering regulations.